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CI

Cowen Inc Portfolio holdings

AUM $1.35B
1-Year Est. Return 60.14%
This Fund
S&P 500
This Quarter Est. Return
1 Year Est. Return
+60.14%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$910M
AUM Growth
+$16.9M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
440
New
Increased
Reduced
Closed

Top Buys

1
+$73.9M
2
+$44M
3
+$39.1M
4
ONCE
Spark Therapeutics, Inc. Common Stock
ONCE
+$36.6M
5
FDC
First Data Corporation
FDC
+$31M

Top Sells

1
+$64.9M
2
+$37.2M
3
+$27.9M
4
ATHN
Athenahealth, Inc.
ATHN
+$25.4M
5
AHL
ASPEN Insurance Holding Limited
AHL
+$25.1M

Sector Composition

1 Technology 16.86%
2 Healthcare 16.56%
3 Communication Services 10%
4 Financials 8.24%
5 Consumer Discretionary 8.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ICPT
401
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
– –
0
FRC
402
DELISTED
First Republic Bank
FRC
– –
0
QTT
403
DELISTED
Qutoutiao Inc. American Depositary Shares
QTT
– –
0
VVNT
404
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
– –
-12,805
VLDR
405
DELISTED
Velodyne Lidar, Inc. Common Stock
VLDR
– –
-45,200
ZEN
406
DELISTED
ZENDESK INC
ZEN
– –
-67,570
TVTY
407
DELISTED
Tivity Health, Inc. Common Stock
TVTY
– –
0
STRDW
408
DELISTED
Sitio Royalties Corp. Warrant
STRDW
– –
-143,647
ISBC
409
DELISTED
Investors Bancorp, Inc.
ISBC
– –
-280,274
CPLG
410
DELISTED
CorePoint Lodging Inc. Common Stock
CPLG
– –
-35,092
RDS.B
411
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-17,900
XLRN
412
DELISTED
Acceleron Pharma
XLRN
– –
-5,411
LACQ
413
DELISTED
Leisure Acquisition Corp.
LACQ
– –
-67,288
WPX
414
DELISTED
WPX Energy, Inc.
WPX
– –
0
LFACU
415
DELISTED
LF Capital Acquistion Corp. Unit
LFACU
– –
-11,198
MFAC.WS
416
DELISTED
Megalith Financial Acquisition Corp. Warrants, each warrant exercisable for one share of Class A Com
MFAC.WS
– –
-129,457
TOTAW
417
DELISTED
Tottenham Acquisition I Limited Warrant
TOTAW
– –
-45,100
SAMAU
418
DELISTED
Schultze Special Purpose Acquisition Corp. Unit
SAMAU
– –
-57,300
HCCHR
419
DELISTED
HL Acquisitions Corp. Right
HCCHR
– –
-26,230
NEBUW
420
DELISTED
Nebula Acquisition Corporation Warrant
NEBUW
– –
-133,863
ALGR
421
DELISTED
Allegro Merger Corp
ALGR
– –
-270,677
VIAB
422
DELISTED
Viacom Inc. Class B
VIAB
– –
-39,993
GIG.WS
423
DELISTED
GigCapital, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exerci
GIG.WS
– –
-229,174
STNL
424
DELISTED
Sentinel Energy Services Inc. Class A Common Stock
STNL
– –
-126,000
NRCG.WS
425
DELISTED
NRC Group Holdings Corp.
NRCG.WS
– –
-109,651
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17
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